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Compliance Manager

  • Job type: Permanent
  • Location: Boston, Massachusetts
  • Salary: Negotiable
  • Job reference: 335171/002_1566841649
  • Sector: Selby Jennings, Compliance
  • Date posted: 26/08/2019

Newly created Compliance Manager position with one of Boston's leading investment management firms.

Qualifications:

  • 12-15+ years of Compliance, Risk, and/or regulatory experience in the financial services industry
  • 10+ years of broker/dealer compliance, risk or regulatory experience
  • Strong knowledge of FINRA, and SEC regulations applicable to broker/dealers
  • Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, other securities laws and applicable regulation
  • Detail oriented with ability to multi-task, effectively prioritize responsibilities and produce results;
  • Strong analytic and creative problem-solving skills; ability to generate creative alternatives to identified issues
  • Strong knowledge of fixed income securities, equities and derivatives
  • Strong knowledge of mutual fund compliance practices, rules, and regulations with emphasis on the Investment Company Act and Investment Advisers Act
  • Partner with business, operations, legal and other business teams effectively
  • Provide guidance to investment compliance clients and other lines of the firm's business
  • 8+ years of experience in investment adviser guidelines

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